DFX Intelligence
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Registered advisor
S••••• G••• E••••••••
Feed of 09/14/2026
Also filed as S••••• G••• F••••••••• G••• F••••••••• G••• S••••••••• G••• S••••••••• G••• B•••••
At current firm
7 y
since Mar 5, 2019
In the industry
46 y
since Jan 9, 1980 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 5, 2019 · Boca Raton, Fl
- M••••• S•••••• wirehouseMar 19, 2012 to Mar 1, 2019 · Boca Raton, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedNov 7, 2005 to Feb 27, 2012 · Boca Raton, Fl
- A•••••• I••• unclassifiedApr 10, 2003 to Nov 14, 2005 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Mar 1, 2019, registered Mar 5, 2019 (4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• M••••••••• S•••• L•• to M••••• S••••••left Feb 27, 2012, registered Mar 19, 2012 (21 days) · Other
- A•••••• I••• to J••••• M••••••••• S•••• L••left Nov 14, 2005, registered Nov 7, 2005 (-7 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address